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Articles 1 - 18 of 18
Full-Text Articles in Securities Law
Fraud On The Market: Short Sellers' Reliance On Market Price Integrity, Douglas A. Smith
Fraud On The Market: Short Sellers' Reliance On Market Price Integrity, Douglas A. Smith
William & Mary Law Review
No abstract provided.
Taking The Stand: The Lessons Of The Three Men Who Took The Japanese American Internment To Court, Lorraine K. Bannai
Taking The Stand: The Lessons Of The Three Men Who Took The Japanese American Internment To Court, Lorraine K. Bannai
Seattle Journal for Social Justice
No abstract provided.
Preference Determinations Concerning Bankruptcy Reform Act Of 1978 And Securities Act Of 1933, Securities And Exchange Act Of 1934, And Commodity Exchange Act, J. B. Grossman
University of Arkansas at Little Rock Law Review
No abstract provided.
Securities Regulation, David K. Brown, Valerie D. Barton
Securities Regulation, David K. Brown, Valerie D. Barton
Mercer Law Review
This Article examines significant securities regulation cases originating in the Eleventh Circuit Court of Appeals during 2003 and 2004. In particular, Part I of this Article addresses a recent decision in the area of insider trading and familial relationships. Part II analyzes two recent cases involving the definition of "security" under the Securities Act of 1933. The three cases discussed below address two very different issues and draw from two separate areas of securities law, the Securities Act of 1933 and the Securities Exchange Act of 1934. However, a common theme connects these cases: the preservation of flexibility within the …
Demythologizing The Stock Exchange: Reconciling Self-Regulation And The National Market System, Onnig H. Dombalagian
Demythologizing The Stock Exchange: Reconciling Self-Regulation And The National Market System, Onnig H. Dombalagian
University of Richmond Law Review
No abstract provided.
Sarbanes-Oxley Act, Section 307 - The Price Of Accountability: How Will Section 307 Affect The Role Of The Corporate Attorney, Sara B. Smith
Sarbanes-Oxley Act, Section 307 - The Price Of Accountability: How Will Section 307 Affect The Role Of The Corporate Attorney, Sara B. Smith
West Virginia Law Review
No abstract provided.
What's Brewing In Dura V. Broudo? The Plaintiffs' Attorneys Review The Supreme Court's Opinion And Its Import For Securities-Fraud Litigation, Patrick J. Coughlin, Eric Alan Isaacson, Joseph D. Daley
What's Brewing In Dura V. Broudo? The Plaintiffs' Attorneys Review The Supreme Court's Opinion And Its Import For Securities-Fraud Litigation, Patrick J. Coughlin, Eric Alan Isaacson, Joseph D. Daley
Loyola University Chicago Law Journal
No abstract provided.
Caught Between A Rock And A Soft Place: Regulating Legal Ethics To Police Corporate Governance In The United States And Hong Kong, Susan E. Carroll
Caught Between A Rock And A Soft Place: Regulating Legal Ethics To Police Corporate Governance In The United States And Hong Kong, Susan E. Carroll
Washington International Law Journal
Both the United States and Hong Kong have suffered through corporate governance scandals in recent years. The two nations have tried different methods of regulating legal ethics in order to curtail future corporate governance scandals. The United States, via the Sarbanes-Oxley Act of 2002, empowered the Securities and Exchange Commission ("SEC") to dictate disclosure requirements to U.S. lawyers who represent listed corporations. This mandate creates conflicts between lawyers' duty to keep clients' secrets and their duty to disclose client information for the protection of public interests. Hong Kong took a completely different approach. The Hong Kong Stock Exchange negotiated the …
Shock Therapy' For Aktiengesellschaften: Can The Sarbanes-Oxley Certification Requirements Transform German Corporate Culture, Practice And Prospects?, Hudson T. Hollister
Shock Therapy' For Aktiengesellschaften: Can The Sarbanes-Oxley Certification Requirements Transform German Corporate Culture, Practice And Prospects?, Hudson T. Hollister
Northwestern Journal of International Law & Business
The Sarbanes-Oxley Act (Act) of 20021 was the U.S. Congress's hasty response to the wave of corporate scandals that had begun to devastate U.S. investor confidence during the previous year. Its sixty-six pages contain a wide range of measures designed to enhance the quality and independence of corporate audits and disclosure under the U.S. securities-regulation regime. The Act applies to public corporations-corporations that are required to file regular financial reports under the Securities Exchange Act of 1934 (Exchange Act). Objections from German corporations and observers were particularly vigorous. At least one German foreign private issuer registered with the SEC has …
The Prototype Carbon Fund: A New Departure In International Trusts And Securities Law, Sophie Smyth
The Prototype Carbon Fund: A New Departure In International Trusts And Securities Law, Sophie Smyth
Sustainable Development Law & Policy
No abstract provided.
Erisa Stock Drop Cases: An Evolving Standard, 38 J. Marshall L. Rev. 889 (2005), Craig C. Martin, Elizabeth L. Fine
Erisa Stock Drop Cases: An Evolving Standard, 38 J. Marshall L. Rev. 889 (2005), Craig C. Martin, Elizabeth L. Fine
UIC Law Review
No abstract provided.
Rules Of Or Substantive Law: Who Controls An Individual's Right To Choose A Lawyer In Today's Corporate Environment, 38 J. Marshall L. Rev. 1265 (2005), Joan Colson
UIC Law Review
No abstract provided.
Rombach V. Chang: To 9(B) Or Not To 9(B), Scott D. Woller
Rombach V. Chang: To 9(B) Or Not To 9(B), Scott D. Woller
NYLS Law Review
No abstract provided.
How Can It Be Wrong When It Feels So Right - Appellate Review Of Remand Orders Under The Securities Litigation Uniform Standards Act, Thomas F. Lamprecht
How Can It Be Wrong When It Feels So Right - Appellate Review Of Remand Orders Under The Securities Litigation Uniform Standards Act, Thomas F. Lamprecht
Villanova Law Review
No abstract provided.
Assessing The Deterrent Effect Of The Sarbanes-Oxley Act's Certification Provisions, Kathleen A. Lacey, Barbara C. George, Clyde Stoltenberg
Assessing The Deterrent Effect Of The Sarbanes-Oxley Act's Certification Provisions, Kathleen A. Lacey, Barbara C. George, Clyde Stoltenberg
Vanderbilt Journal of Transnational Law
In the 1970s, Congress reacted to the financial wrongdoing of Lockheed Corp. and others by enacting § 102 of the Foreign Corrupt Practices Act (FCPA), which (1) requires corporations to keep records that accurately reflect financial transactions and (2) mandates a system of internal accounting controls. Going a step further in 2002, Congress responded to the Enron scandal by imposing personal accountability on chief executive officers in the Sarbanes-Oxley Act (SOA). After recounting responses prior to the existence of the Securities and Exchange Commission (SEC) to corporate abuses and the historical background of the SEC's requirements for corporate financial reporting …
A Securities Regulator Looks At Onvergence, Donald T. Nicolaisen
A Securities Regulator Looks At Onvergence, Donald T. Nicolaisen
Northwestern Journal of International Law & Business
For many years there has been a dedicated group of practitioners, standard setters, business leaders and others from around the world who have worked to establish a single set of globally accepted accounting standards for the benefit of the capital markets. These people clearly had their hearts in the right place but, absent a binding mandate to apply the standards, it seemed largely a labor of love. Now I expect those pioneering initiatives and the many years of effort to pay off because in 2005 a large number of companies are joining what up to now has been a limited …
Cross-Border Securitized Transactions: The Missing Link In Establishing A Viable Chinese Securitization Market, Nicholas J. Faleris
Cross-Border Securitized Transactions: The Missing Link In Establishing A Viable Chinese Securitization Market, Nicholas J. Faleris
Northwestern Journal of International Law & Business
This article proposes that asset-backed securitization in China could be jump-started by first focusing on cross-border (sometimes called transnational) securitization, and by establishing a dependable group of regional investors. Cross-border securitization transactions would enable China to experiment with various packaging of state-owned securities on a trial basis through a transaction-by-transaction process. Thus far, the focus has been specifically on reforming the legal infrastructure so that China eventually would be able to attract investors and capitalize on an emerging market. Rather than attempting to both build an infrastructure and attract asset-backed securitization investors with large, sweeping changes, the market would be …
"Who's The Boss?": An Analytical And Practical Approach To Determine The "Employer" In A Defined Contribution Qualified Retirement Plan, 38 J. Marshall L. Rev. 1011 (2005), Megan Mccoy
UIC Law Review
No abstract provided.